To provide advice to the business on how well key conduct risk control processes deliver intended business and regulatory outcomes by conducting reviews and audits across the company in a timely, professional and business focused manner. Work with business to ensure that new, material control processes required as a result of business change initiatives also deliver their intended outcomes. Follow through to ensure that the business appropriately addresses any shortcomings.

Duties/ Responsibilities:

  • Undertake reviews and audits of key conduct risk control processes to assess delivery of intended business and regulatory outcomes, including adherence to regulatory and Company standards.
  • Liaise with business to assist with their establishment of appropriate conduct risk control frameworks when implementing significant new strategic initiatives
  • Where necessary, follow through on reviews and audits to influence managers to enhance processes and controls to better ensure delivery of intended business and regulatory outcomes, including compliance with any specific regulatory rules. Subsequently follow up on identified issues to assess whether the business has taken appropriate corrective action
  • Assist with managing relationships with FSA/FCA predominantly in relation to Conduct issues. In particular, liaise with relevant regulators on planned risk assessment visits in business, including supporting information requests and visit programmes
  • To provide management information on the progress of reviews and audits
  • To stay close to particular business areas, to build knowledge and understanding of these businesses and corresponding market sectors
  • Develop and maintain a risk-based approach to planning review programmes

Generic Company Accountabilities (Risk Management & Controls):

  • Ensure familiarity with risk management programmes, as they impact this position, and follow appropriate risk management procedures to control, monitor and report on business activities
  • Ensure compliance with Company policies, regulatory, professional & legal requirements

Knowledge/ Experience/ Skills:

  • Detailed working knowledge of the Regulatory requirements, particularly the FSA (or successor organisations’)  Handbook. Have the ability to interpret rules, principles and guidance for the business.
  • Able to plan, manage and conduct audits and reviews with minimum supervision.
  • Good report writing skills.
  • Good oral communication that can adapt to the audience.
  • Sound judgement in balancing regulatory requirements with business needs
  • Able to complete reviews and audits and present findings in a timely and focused way
  • Maintain effective working relationships with colleagues and other governance functions.


  • Degree Level qualification or equivalent
  • Have or working towards a financial services or regulatory qualification

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